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ARS

Morgan Keegan wins dismissal of SEC lawsuit

Morgan Keegan wins dismissal of SEC lawsuit

By Securities Docket on June 29, 2011, 12:06 pm

Judge finds firm adequately disclosed the debt’s risks to investors.

Posted in SEC, Top | Tagged ARS, Dismissals

Dow Corning’s $165 Million Case Against Merrill Lynch Survives Motion to Dismiss

Dow Corning’s $165 Million Case Against Merrill Lynch Survives Motion to Dismiss

By Securities Docket on April 1, 2011, 11:04 am

ARS case survives motion to dismiss due to allegations of “specific misrepresentations.”

Posted in Class Actions | Tagged ARS

SEC Issues Wells Notice to Morgan Keegan Related to ARS Liquidity Disclosures

By Securities Docket on May 15, 2009, 6:25 am

Morgan Keegan & Co. Inc., a subsidiary of Regions Financial (RF), disclosed this week in RF’s Form 10-Q filing with the SEC that the SEC staff issued it a Wells Notice in March indicating that it intends to recommend enforcement action to the Commission. According to RF, In March 2009, Morgan Keegan & Company, Inc. […]

Posted in SEC | Tagged ARS, Wells Notice

California AG Sues Wells Fargo for $1.5 Billion Over ARS Sales

California AG Sues Wells Fargo for $1.5 Billion Over ARS Sales

By Securities Docket on April 24, 2009, 6:42 am

The state of California sued Wells Fargo yesterday alleging that the bank misled investors about the safety and liquidity of the auction-rate securities that it sold.  DealBook reports that the lawsuit seeks $1.5 billion from Wells Fargo. In a statement yesterday, Attorney General Jerry Brown (pictured) said that “Wells Fargo’s affiliates promised investors auction-rate securities […]

Posted in Industry | Tagged ARS, Features, Subprime

Court Dismisses ARS-Related Securities Class Action Against UBS

By Securities Docket on March 31, 2009, 6:49 am

On Monday, Judge Lawrence M. McKenna of the SDNY dismissed the securities class action against UBS, which alleged that the bank misled investors when it sold them auction rate securities.  The court ruled that the case could not continue because UBS had already reached a $19.4 billion settlement in the matter in August with the […]

Posted in Class Actions | Tagged ARS, Dismissals, Features

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